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Search Criteria: Begin Date "02-02-2005" End Date "02-28-2005"
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Name of Respondent(s) Date Type of Action File Number
Crestone Securities L.L.C. February 02, 2005 Summary Order Of Denial 0400699
Nicholas A. Denucci February 02, 2005 Notice Of Hearing 0400420
Bankers & Investors Company February 09, 2005 Consent Order Of Dismissal 0400380
Bear Stearns & Co. Inc. February 10, 2005 Notice Of Hearing 0500088
Hubadex Inc. February 10, 2005 Notice Of Hearing 0100836
International Vacations Ltd.,
International Vacation Homes Inc.,
Kendall Cain,
Franz E. Bader,
Michael Hoeper,
Jeff Fitzgerald
February 10, 2005 Order Of Prohibition 0400042
Joseph Larocca February 10, 2005 Consent Order Of Censure 0400305
Joseph W. Hagan February 10, 2005 Consent Order Of Censure 0400307
Richard A. Saitta February 10, 2005 Consent Order Of Withdrawal 0400673
Estate Management Services Inc.,
A/K/A E.M.S.,
Daniel George Petrilli
February 14, 2005 Consent Order To Continue Temporary 0400756
Christopher M. Murray February 17, 2005 Amended Notice Of Hearing 0400720
Anthony J. Kirincic February 18, 2005 Notice Of Hearing 0400629
Crestone Securities L.L.C. February 18, 2005 Notice Of Hearing 0400699
Patrick O. Pascarella February 18, 2005 Summary Order Of Denial 0400690
Hubadex Inc. February 22, 2005 Consent Order 0100836
Thomas C. Sherwood February 22, 2005 Consent Order 0300611
James S. Huh February 23, 2005 Consent Order Of Revocation 0400482
Janas Associates,
R. Carter Freeman
February 23, 2005 Consent Order 0201002
Joseph S. Williams I I I February 25, 2005 Order Of Dismissal 0400472
U.B.S. Financial Services Inc. February 25, 2005 Notice Of Hearing 0100327
John Francis Zelasko February 26, 2005 Notice Of Hearing 0300627
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